DHS_FY19_SBIR_Solicitation-_70RSAT19R00000003A.pdf

U.S. Department of Homeland Security (DHS)

Small Business Innovation Research (SBIR)

Program

Solicitation #: 70RSAT19R00000003A

Due Date: January 23, 2019 at 12:00 noon ET

Issued By:

DHS Office of Procurement

Operations on behalf of:

The Science and Technology Directorate and the Countering Weapons of Mass

Destruction Office

U.S. DEPARTMENT OF HOMELAND SECURITY (DHS) SMALL BUSINESS INNOVATION

RESEARCH (SBIR) PROGRAM

1.0 PROGRAM DESCRIPTION

1.1 SUMMARY

1.2 DHS SBIR PROGRAM, PURPOSE AND OBJECTIVES

1.3 THREE PHASE PROGRAM

1.4 KEY DATES AND EVENTS

1.5 ELIGIBILITY

1.6 SBIR OFFICE CONTACTS

1.7 DEFINITIONS

1.8 FRAUD, WASTE AND ABUSE

2.0 REGISTRATION, CERTIFICATIONS, AND DATA COLLECTION

2.1 MANDATORY REGISTRATIONS

2.2 REQUIRED CERTIFICATIONS

2.3 DATA COLLECTION REQUIREMENT

3.0 PROPOSAL PREPARATION INSTRUCTIONS AND REQUIREMENTS

3.1 PROPOSAL PREPARATION AND LENGTH OF PROPOSAL

3.2 PROPOSAL COVER SHEET, TECHNICAL ABSTRACT, PROJECT AIMS, AND SUMMARY

OF RESULTS

3.3 TECHNICAL PROPOSAL FORMAT AND CONTENT

3.4 COST PROPOSAL

3.5 BRIEFING CHART

3.6 COMMERCIALIZATION REPORT

3.7 DHS PHASE II TRANSITION RATE BENCHMARK

3.8 QUESTIONS

4.0 METHOD OF SELECTION AND EVALUATION CRITERIA

4.1 EVALUATION CRITERIA, FACTORS AND RATINGS

4.2 PROPOSAL REVIEW FEEDBACK

4.3 CONTRACTOR SUPPORT SERVICES IN SUPPORT OF THE SELECTION PROCESS

5.0 CONSIDERATIONS

5.1 AWARDS

5.2 REPORTS AND DELIVERABLES

5.3 INVOICE INSTRUCTIONS

5.4 INNOVATIONS, INVENTIONS AND PATENTS

5.5 COST‐SHARING

5.6 PROFIT OR FEE

5.7 JOINT VENTURES OR LIMITED PARTNERSHIPS

5.8 RESEARCH AND ANALYTICAL WORK

5.9 AWARDEE COMMITMENTS AND SUMMARY STATEMENTS

5.10 RELEASE OF PROPOSAL INFORMATION

5.11 TECHNICAL AND BUSINESS ASSISTANCE

5.12 COMMERCIALIZATION ASSISTANCE PROGRAM

5.13 CLASSIFIED PROPOSALS

5.14 ANIMAL AND/OR HUMAN SUBJECTS

5.15 EXPORT CONTROL

5.16 DHS SBIR PHASE II ENHANCEMENT PROGRAMS

5.17 ADDITIONAL INFORMATION

6.0 SUBMISSION OF PROPOSALS

APPENDIX A – RESEARCH TOPIC DESCRIPTIONS

APPENDIX B ‐ DEFINITIONS

ATTACHMENT 1: SBIR FUNDING CERTIFICATION – TIME OF AWARD

ATTACHMENT 2: SBIR FUNDING CERTIFICATION – LIFE CYCLE CERTIFICATION

ATTACHMENT 3: BRIEFING CHART TEMPLATE

ATTACHMENT 4: SAMPLE NON‐DISCLOSURE AGREEMENT

1.0 PROGRAM DESCRIPTION

1.1 Summary

The Department of Homeland Security (DHS) Small Business Innovation Research (SBIR) Program, comprised of the Science and Technology (S&T) Directorate’s SBIR Program and the Countering Weapons of Mass

Destruction Office’s (CWMD) SBIR Program, invites small business concerns (SBCs) to submit innovative proposals under this Solicitation. Eligible small business concerns with the capability to conduct research or research and development (R/R&D) in any of the homeland security‐related topic areas described in Appendix

A, and to commercialize the results of that R/R&D, are encouraged to participate. The DHS SBIR Program

Office encourages all small business concerns, including small disadvantaged, women‐owned, veteran‐owned, service‐disabled veteran‐owned, and socially and economically disadvantaged small business concerns to submit proposals in response to topics described in this Solicitation.

IMPORTANT:

Please read the solicitation carefully. Failure to comply with the requirements herein will likely result negatively in the proposal evaluation or elimination from consideration.

This Solicitation contains topics for both the S&T Directorate’s SBIR Program and

CWMD’s SBIR Program. Only proposals submitted in response to topics contained in this

Solicitation will be accepted and considered for awards. Section 7.0 outlines the ten (10) research topics – eight (8) S&T topics and two (2) CWMD topics. Unsolicited proposals will not be accepted.

While the Phase II proposal process is covered in this Solicitation, at this time this Solicitation requests Phase I proposals only. See Section 1.3.

Small business concerns that are majority‐owned by multiple venture capital operating companies, hedge funds or private equity firms are not eligible to submit proposals in response to this

Solicitation. See Section 1.5, Eligibility.

Per the Small Business Administration (SBA) SBIR Policy Directive, dated February 24, 2014, to be eligible for a Phase I award, Offerors must meet or exceed the following benchmark:

o Phase I to Phase II Transition rate, See Section 3.7, DHS Phase II Transition Rate Benchmark

1.2 DHS SBIR Program, Purpose and Objectives

The statutory purpose of the SBIR Program is to strengthen the role of innovative small business concerns in

Federally‐funded R/R&D. Program objectives are to: (1) stimulate technological innovation; (2) strengthen the role of small business concerns in meeting Federal R/R&D needs; (3) foster and encourage participation by socially and economically disadvantaged small businesses (SDBs) and by women‐owned small businesses

(WOSBs); and (4) increase private sector commercialization of innovations developed through Federal

R/R&D, thereby increasing competition, productivity, and economic growth. The federal SBIR Program is mandated by the Small Business Research and Development Act of 1982 (Public Law 97‐219), the Small

Business Research and Development Act of 1992 (Public Law 102‐564), and the SBIR/STTR Reauthorization and Improvement Act of 2016 (Public Law 114‐328).

The DHS SBIR Program follows the policies and practices of the Small Business Administration (SBA)

SBIR Policy Directive, dated February 24, 2014. This Solicitation incorporates and uses the flexibility of the

SBA SBIR Policy Directive to encourage innovative proposals in response to the research topics listed in

Appendix A.

1.3 Three Phase Program

The SBIR Program is a three phase program. The objective of Phase I is to determine the scientific, technical, and commercial merit and feasibility of the proposed effort, and the quality of performance of the small business concern, with a relatively small agency investment prior to providing further Federal support in Phase II. Phase I proposals should concentrate on that R/R&D which will significantly contribute to proving the scientific and technical feasibility, and commercialization potential of the proposed effort. The successful completion of which is a prerequisite for further DHS support in Phase II. Offerors are encouraged to consider whether the R/R&D being proposed also has private sector potential, either for the proposed application or as a base for other applications.

The objective of Phase II is to continue the R/R&D effort from the completed Phase I. Phase II efforts further develop work from Phase I that meets particular program needs and exhibits potential for commercial application. Phase II is the principal R&D effort and is expected to produce a well‐defined deliverable prototype. Phase II awards may be made to small business concerns on the basis of the results of their Phase I projects, and the scientific merit, technical merit, and commercialization potential of the Phase II proposal.

In accordance with the SBIR/STTR Reauthorization Act of 2016 (Public Law 114‐ 328), DHS no longer uses an invitation process for Phase II. All small businesses awarded a Phase I contract originating from this Solicitation are eligible to submit a Phase II proposal. A Contracting Officer will notify Phase I awardees of the Phase II proposal submission requirements and the deadline for Phase II submissions.

SBIR Phase III refers to work that derives from, extends, or completes an effort made under prior SBIR funding agreements, but is funded by sources other than the SBIR Program. Phase III work is typically oriented towards commercialization of SBIR research or technology. Under Phase III, the SBIR awardee is expected to seek contracts and obtain funding from the private sector and/or the Federal government (non‐ SBIR federal government sources) to develop the prototype or supply goods or services related to the work performed under the SBIR contract(s) into a viable product or non‐R&D service for sale in DHS and/or private sector markets.

A Phase III award, by its nature, is an SBIR award, has SBIR status, and must be accorded SBIR data rights. Phase III proposals can only be submitted by, and made to, a Phase I and/or Phase II awardee or successor in interest. The competition for SBIR Phase I and Phase II awards satisfies any competition requirement of the Armed Services Procurement Act, the Federal Property and Administrative Services Act, and the Competition in Contracting Act. Therefore, an agency that wishes to fund an SBIR Phase III project is not required to conduct another competition in order to satisfy those statutory provisions.

1.4 Key Dates and Events

The following chart shows the important events and corresponding dates of the FY19.1 DHS SBIR

Solicitation:

KEY

DATES EVENT DATE*

(( Pre‐solicitation issued: November 30, 2018

Direct contact with Topic POC permitted:

November 30, 2018 – December 18, 2018

Solicitation released: December 19, 2018

Phase I proposals submission: December 19, 2018 – January 23, 2019

Last day to submit questions: January 9, 2019 12:00 NOON. ET

Q&A Posted on FBO.gov January 16, 2019

Deadline for receipt of proposals: January 23, 2019, 12:00 NOON. ET

Phase I POP

~May 2019 - Oct 2019

Phase II Proposals Due ~November 2019

Phase II Begins ~March 2020

The dates in the table above are approximate dates and are subject to change without notice.

1.5 Eligibility

Small Business Concerns that are majority‐owned by multiple venture capital operating companies, hedge funds or private equity firms are not eligible to submit proposals in response to this Solicitation nor are they eligible to receive a DHS SBIR award.

To receive SBIR funds, each awardee of a Phase I or Phase II award must qualify as a small business concern at the time of award and at any other time set forth in SBA’s regulations at 13 CFR 121.701 through 121.705.

For both Phase I and Phase II, the primary employment of the principal investigator must be with the small business concern at the time of the award and during contract performance. Primary employment means that more than one‐half of the principal investigator’s time is spent in the employ of the small business concern.

This precludes full‐time employment with another organization.

For both Phase I and Phase II, all research or research and development must be performed by the small business concern and its subcontractors in the United States.

1.6 SBIR Office Contacts

For general questions about the S&T Directorate’s SBIR Program, please contact

STSBIR.PROGRAM@hq.dhs.gov. For general questions about the CWMD SBIR Program, please contact CWMD.SBIR@hq.dhs.gov.

1.7 Definitions

Definitions provided in SBA’s SBIR Policy Directive (dated February 24, 2014) and the Federal Acquisition

Regulation (FAR) apply for the purposes of this Solicitation. Terms that are unique to the SBIR Program, this specific SBIR solicitation, or may be unfamiliar to small business concerns, are defined in Appendix B.

1.8 Fraud, Waste and Abuse

DHS and the SBIR Program Office are taking proactive measures to reduce the vulnerability of the SBIR

Program to fraud, waste, and abuse. The SBIR Policy Directive (dated February 24, 2014), Section 9 (f)(1) (i through ix), provides examples of fraud, waste and abuse relating to the SBIR Program. To report SBIR fraud, please contact the DHS Office of the Inspector General (OIG):

Anonymous Hotline: 1‐800‐323‐8603

OIG Online Allegation Form: http://www.oig.dhs.gov/hotline/hotline.php

Fax: (202) 254‐4297 mailto:STSBIR.PROGRAM@hq.dhs.gov mailto:CWMD.SBIR@hq.dhs.gov.

http://www.oig.dhs.gov/hotline/hotline.php

Mail: DHS Office of Inspector General/MAIL STOP 0305

Attention: Office of Investigations‐Hotline

245 Murray Drive SW, Washington, DC 20528

To reach someone within S&T’s SBIR Program Office about fraud, waste and abuse, please contact DHS

S&T SBIR Program PM, STSBIR.PROGRAM@hq.dhs.gov

To reach someone within the CWMD SBIR Program Office about fraud, waste and abuse, please contact the

DHS CWMD SBIR PM at CWMD.SBIR@hq.dhs.gov.

2.0 REGISTRATION, CERTIFICATIONS, AND DATA COLLECTION

2.1 Mandatory Registrations

In order to prepare and submit SBIR proposals to DHS under this Solicitation, Offerors must be registered in the DHS SBIR electronic online proposal submission system at https://sbir2.st.dhs.gov.

Company registration is also required in the U.S. Small Business Administration’s (SBA) Company

Registry Database at http://sbir.gov/registration. Prior to submitting the complete proposal to DHS, each

Offeror must:

1. Affirm registration in the SBA Company Registry;

2. Input the company’s SBC Control ID number in the Company Data section of the DHS SBIR

Cover Sheet; and

3. Append a copy of the completed SBA Company Registration information as the last page of the

Technical Proposal.

Before an SBIR contract can be awarded, proposing firms must also be registered in the System for Award

Management (SAM). SAM is the official U.S. Government system that consolidated the capabilities of the

Central Contractor Registration (CCR)/Federal Register, Online Representations and Certifications

Application (ORCA), and the Excluded Parties List System (EPLS) databases. Although not required at the time of proposal submission to the DHS SBIR Program, it is highly recommended that Offerors register in

SAM during the proposal process. To register in SAM and/or update company’s records, visit https://www.sam.gov/portal/public/SAM/.

Offerors are encouraged, but not required, to have a DUNS number and a CAGE code at the time of proposal submission. Companies must obtain these before a contract can be awarded to the company. To obtain a DUNS number, visit Https://fedgov.dnb.com/webform. CAGE Codes are automatically assigned upon registration in

SAM. For more information about the Commercial and Government Entry (CAGE) code, please visit www.fsd.gov.

2.2 Required Certifications

At the time of proposal submission, each small business concern must certify via the Cover Sheet of the proposal that it meets the size, ownership and other requirements of the SBIR Program. In addition, the SBA

SBIR Policy Directive (dated February 24, 2014) includes certifications requirements set forth in the

SBIR/STTR Reauthorization and Improvement Act of 2016. The certifications require small business concerns to certify that they are meeting the Program’s requirements during the life cycle of the funding mailto:STSBIR.PROGRAM@hq.dhs.gov mailto:CWMD.SBIR@hq.dhs.gov.

http://sbir.gov/registration http://www.sam.gov/portal/public/SAM/ http://www.fsd.gov/ agreement.

The DHS SBIR Programs will implement the certifications as follows:

1. SBIR Funding Agreement Certification – Time of Award (Attachment 1) – If selected for award, this certification will be provided by the Contracting Officer to the small business concern for completion prior to issuing the Phase I and Phase II award.

2. SBIR Funding Agreement Certification – Life Cycle Certification (Attachment 2) ‐ The Life Cycle

Certification will be included in resultant Phase I and Phase II contracts and considered a deliverable.

2.3 Data Collection Requirement

Each Phase I and Phase II applicant is required to either enter information into SBA’s database at www.SBIR.gov or to update previously entered information. Companies should login to www.SBIR.gov using the account created when registering for the SBA company registry database. The following are examples of data to be entered into the database:

Any business concern or subsidiary established for the commercial application of a product or service for which an SBIR award is made.

Revenue from the sale of new products or services resulting from the research conducted under each Phase II award;

Additional investment from any source, other than Phase I or Phase II awards, to further the research and development conducted under each Phase II award.

The SBC may apportion sales or additional investment information relating to more than one Phase II award among those awards, if it notes the apportionment for each award.

In addition, each Phase II awardee is required to update the appropriate information on the award in the database upon completion of the last deliverable under the funding agreement and is requested to voluntarily update the information in the database annually thereafter for a minimum period of 5 years.

3.0 PROPOSAL PREPARATION INSTRUCTIONS AND REQUIREMENTS

3.1 Proposal Preparation and Length of Proposal

Offerors responding to this Solicitation must submit a direct, concise, and informative research or research and development proposal. Each complete proposal must be submitted via the DHS SBIR online proposal submission portal at https://sbir2.st.dhs.gov.

The small business concern will need to submit all the mandatory proposal sections. Some sections will be generated by the proposal submission portal and some will require a PDF upload (CWMD topics will also require documents submitted via email). Some sections which required PDF upload have a page limit.

The table below describes each mandatory section and, when applicable, page limitations. Proposals submitted which do not contain all mandatory sections and/or exceed page limitations as described in the table below, will be deemed NON-RESPONSIVE and will not be evaluated. It is the responsibility of the

Small Business Concern to ensure that once the proposal is submitted and uploaded into the system, it complies with the page limits.

http://www.sbir.gov/ https://sbir2.st.dhs.gov/

Mandatory Proposal Requirements Phase I Phase II

System

Generated

Cover Sheet As generated by system

Cost Proposal As generated by system

PDF

Uploads

Technical Proposal

(Final page of the Technical

Proposal shall contain the SBA

Registration and no other content)

Limited to 20 pages Limited to 40 pages

Briefing Chart1 Limited to 1 page Limited to 1 page

Commercialization Report N/A No Page Limit- if applicable

Email

Submissions Non‐disclosure Agreement 2

CWMD Topics

ONLY

CWMD Topics Only

NDA from Phase I applies to Phase II

1 Briefing Chart Template is Attachment 3 in the solicitation.

2 CWMD topics ONLY ‐ NDA must not be included in the proposal, but submitted separately via provided email; See Section 4.3.

The Cover Sheet and the Cost Proposal are completed electronically via the DHS SBIR online proposal submissions system, while the Technical Proposal, Briefing Chart, and the Commercialization Report, if applicable, are uploaded as PDF documents.

No additional attachments, appendices or referenced material beyond the page limitations shall be considered in proposal evaluation.

3.2 Proposal Cover Sheet, Technical Abstract, Project Aims, and Summary of Results

It is a requirement for the Offeror to provide basic details about the proposed effort on the proposal Cover

Sheet. Additionally, the Cover Sheet includes the following fillable sections: Technical Abstract, Project

Aims, and Summary of Results.

The Technical Abstract is limited to 250 words. The abstract must identify the purpose of the work and briefly describe the work to be carried out, the finding or results, and the potential commercial applications of the effort. If the Offeror’s proposal is selected for award, the Technical Abstract section will be publicly posted on the DHS SBIR website and on the Small Business Administration’s website; therefore, do not include proprietary or classified information in the Technical Abstract section of the Cover Sheet.

The Project Aims section is limited to 500 words and is for Government use only.

For Phase I proposals only, the Offeror should state the specific objectives of the Phase I R/R&D effort, including the technical questions the Offeror will answer to determine the Phase I feasibility of the proposed approach and the impact that the results of the proposed research will exert on the research field(s) involved.

The Offeror should state concisely and realistically what the proposed research is intended to accomplish in terms of its potential for technological innovation and commercial application. The proposed product, process or service that will ultimately be developed must be defined. Milestones for each of the aims should be included, as these will be used in the evaluation process.

For Phase II proposals only, the Offeror should state the specific objectives of the Phase II research and development effort including the impact that the results of the proposed research will exert on the research field(s). The Offeror should state concisely and realistically what the proposed research is intended to accomplish in terms of its potential for technological innovation and commercial application. The proposed product, process or service that will ultimately be developed must be defined. Milestones for each of the aims should be included, as these will be used in the evaluation process.

The Summary of Results section is limited to 500 words, must not contain proprietary information, and is for

Government use only. The Offeror should provide the anticipated results and implications of the approach

(both Phases I and II) and the potential commercial applications of the research.

3.3 Technical Proposal Format and Content

Prepare the Technical Proposal in single column format, 12‐point Times New Roman, with 1” margins on 8

½” x 11” paper. Company name, topic number, and proposal number must be included in the header of each page. (The header may be included in the 1” margin.) The use of 10‐point font is permissible for imbedded tables, figures and graphics. See Section 3.1 for page limitations for Phase I and Phase II proposals.

The Technical Proposal must be a single file, including tables, figures, graphics and table of contents (if included). Do not lock, password protect, or encrypt the file to be uploaded.

Perform a virus check before uploading the Technical Proposal file. If a virus is detected, it may cause rejection of the proposal.

The Technical Proposal must include the following sections in the order provided:

PROPOSAL

FORMAT PHASE I PROPOSAL PHASE II PROPOSAL

I. Identification and Significance of the Problem or Opportunity

I. Identification and Significance of the Problem or Opportunity

II. Phase I Technical Objectives II. Phase I Technical Objectives and Results

III. Phase I Work Plan III. Phase II Work Plan

IV. Related R/R&D IV. Related R/R&D

V. Key Individuals and

Bibliography of Directly

Related Work

V. Key Individuals and

Bibliography of Directly

Related Work VI. Relationship with Future R/R&D VI. Relationship with Future R/R&D VII. Commercialization Strategy VII. Commercialization Plan

VIII. Facilities/Equipment VIII. Facilities/Equipment

IX. Subcontractors/Consultants IX. Subcontractors/Consultants

X. Potential Post Applications X. Prior, Current, or Pending

Support of Similar Proposals or Awards

XI. Prior, Current, or Pending

Support of Similar Proposals or

Awards

The following is a brief description of each section of the Technical Proposal as applicable for each Phase:

Identification and Significance of the Problem or Opportunity – Succinctly define the specific technical problem or opportunity addressed; the proposed innovation; the relevance and significance of the proposed innovation to a need(s) within the topic description; the proposed innovation relative to the state of the art; and the importance of the work proposed.

Technical Objectives (Phase I proposals only) – State the specific objectives of the Phase I R/R&D effort, including the technical questions that must be answered to determine the feasibility of the proposed innovation/approach.

Technical Objectives and Results (Phase II proposals only) – State the specific objectives of the Phase I

R/R&D effort including the technical questions addressed to determine the feasibility. Address the progress, results and findings of the Phase I effort.

Work Plan (Phase I proposals only) (including the efforts of the subcontractor(s)/consultant(s), if applicable) – Provide an explicit, detailed description of the Phase I approach. The Plan should indicate what tasks are planned, how, when, and where the work will be conducted, a schedule of major events, and the final product(s) to be delivered. The Phase I effort should determine the technical feasibility of the proposed concept, and address the questions cited in the Technical Objectives immediately above. The methods planned to achieve each objective or task should be discussed explicitly and in detail. Task descriptions, schedules, resource allocations, estimated task hours for each key personnel and planned accomplishments, including project milestones, should be included. This section will be a substantial portion of the total Technical Proposal.

Work Plan (Phase II proposals only) (including the efforts of the subcontractor(s)/ consultant(s), if applicable) – Provide an explicit, detailed description of the Phase II approach. The Plan should indicate what tasks are planned, how, when, and where the work will be conducted, a schedule of major events, the final product to be delivered, and the completion date of the effort. The Phase II effort should satisfy the anticipated results, as specified in the topic description. The methods planned to achieve each objective or task should be discussed explicitly and in detail. Task descriptions, schedules, resource allocations, estimated task hours for each key personnel and planned accomplishments, including project milestones, should be included. This section should be a substantial portion of the total proposal.

Related Research/Research and Development – Describe significant (current and/or previous) R/R&D activities that are directly related to the proposed effort, including any conducted by the principal investigator, the Offeror, consultants, or others. Discuss any planned coordination with outside sources.

Describe how these activities relate to the proposed project. Describe previous efforts similar but directly related to the proposed effort. For each effort, provide the following: (a) short description, (b) client for which work was performed (including individual to be contacted and phone number), and (c) date of completion. The Offeror should persuade reviewers of his or her awareness of key, recent R/R&D conducted by others in the specific topic area.

Key Individuals and Bibliography of Directly Related Work – Identify key personnel who will be involved in the effort including information on directly related education, experience, and bibliographic information. A concise resume for the Principal Investigator and all key personnel, including a list of relevant publications (if any), should be included. All resumes will count toward the appropriate page limitation, see Section 3.1. Offerors must identify any non‐U.S. citizen(s) expected to be involved on proposed project [including direct employees, subcontractors and consultants], their country of origin, type of visa or work permit under which they are performing, and an explanation of their anticipated level of involvement on this project. Do not include Privacy Act Information.

Relationship with Future Research/Research and Development (Phase I proposals only) – State the anticipated results of the proposed approach if the project is successful through Phase I and Phase II.

Discuss the significance of the Phase I effort in providing a foundation for Phase II research or research and development effort, application and commercialization efforts (Phase III).

Relationship with Future Research/Research and Development (Phase II proposals only) – State the anticipated results of the proposed approach if the project is successful through Phase II and Phase III.

Discuss the significance of the Phase II effort in providing a foundation for Phase III commercialization efforts.

Commercialization Strategy (Phase I proposals only) – (1) Explicitly describe the company's strategy

(vision) for commercializing the proposed technology and how it will transition to the specific operational component in DHS, other Federal Agencies, and/or private sector markets. (2) Provide specific information on what related technologies, if any, already exist in the market and why the technology being proposed will be superior and how this information was ascertained. (3) Include a discussion on the

Offeror’s current capability to commercialize previously developed technologies, as well as how the

Offeror intends to develop the proposed technology all the way to the market. Responses to (1), (2), and

(3) should be specific to the technology being proposed. Failure to respond to any of the items listed will result in a lower valuation for criterion c (See Section 4.1 for Phase I evaluation criteria). If the Offeror has no commercial experience (item (3)) this should clearly be stated and Offeror should describe how

Offeror intends to bring the necessary experience to the company.

Commercialization Plan (Phase II proposals only) – The Commercialization Plan should address the following: (Failure to address each item listed below in some detail will result in a lower valuation for criterion b (See Section 4.1 for Phase II evaluation criteria):

a. Company Information. Focused objectives/core competencies; specialization area(s); products and significant product sales; and history of previous Federal and non‐Federal funding, regulatory experience, and subsequent commercialization. Does the Offeror have marketing expertise and, if not, how does the Offeror intend to bring that expertise into the company?

b. Customer and Competition. Provide a clear description of key technology objectives, current competitors, and advantages (cost and technical) compared to competing products or services;

description of hurdles to acceptance of the innovation. Address who the customers will be, and for non‐DHS customers explain the demand drivers for this technology. Estimate the market size. Has the

Offeror made contact with anyone in the projected target customer base including DHS customers?

Identify potential factors that could have positive and/or negative impacts regarding the transition of the proposed product.

c. Market. Provide milestones, target dates, analyses of market size, and the estimated market share after first and five year sales. Provide detailed explanation on the plan to obtain market share.

d. Financing. Provide detailed information on the identification and acquisition of costs associated in transitioning the proposed product/services into the market. If available, provide brief discussion on potential financial sources. What are the plans for securing necessary funding for Phase III?

e. Intellectual Property (IP). Provide a detailed description on how the company plans to acquire and protect appropriate IP of the proposed product/service. What is the IP strategy and how will it be protected? Address patent status, technology lead, trade secrets or other demonstrations of a plan to achieve sufficient protection to realize the commercialization stage and attain at least a temporal competitive advantage.

f. Assistance and Mentoring. Provide plans for securing needed technical or business assistance through mentoring, partnering, or through arrangements with state assistance programs, small business development centers, Federally‐funded research laboratories, Manufacturing Extension

Partnership centers, or other assistance providers. Address how the product will be produced.

The Commercialization Plan should also include a schedule and the basis for that schedule showing the quantitative results from the Phase II project that the company expects to report in its Company

Commercialization Report Updates one year after the start of the Phase II, at the completion of Phase II, and after the completion of Phase II (i.e., amount of additional investment, sales revenue, etc.).

Facilities/Equipment – Provide information to allow the evaluators to assess the ability of the Offeror to carry out the activities of the proposed phase as well as all subsequent phases. Describe available instrumentation and physical facilities necessary to carry out the proposed effort. Equipment to be purchased, as detailed in the Cost Proposal, should be justified under this section. Also state whether or not the facilities where the proposed work will be performed meet environmental laws and regulations of federal, state, and local governments for, but not limited to, the following groupings: airborne emissions, waterborne effluents, external radiation levels, outdoor noise, solid and bulk waste disposal practices, and handling and storage of toxic and hazardous materials.

Subcontractors/Consultants – Involvement of any subcontractor(s) or consultant(s) (including Federal

Laboratories, FFRDCs, universities, and technical assistance providers) is permitted. If such involvement is proposed, it should be described in detail in this section and also in the Cost Proposal. Subcontractors’ or consultants’ involvement under Technical and Business Assistance (see Section 5.11) should be clearly delineated from involvement by other subcontractors and consultants. A minimum of two‐thirds

(66%) of the research and/or analytical work in Phase I, as measured by total contract value, should be carried out by the proposing small business concern. A minimum of one‐half (50%) of the research and/or analytical work in Phase II, as measured by total contract value, should be carried out by the proposing small business concern.

If the small business concern determines that it needs to acquire services from a non‐U.S. source, it must fully explain in its proposal why a non‐U.S. source must be used, and why no qualified U.S. source exists to perform the same services.

Potential Post Applications – Briefly describe the following: (1) whether and by what means the proposed project appears to have potential commercial application; and (2) whether and by what means the proposed project appears to have potential use by the Federal Government.

Prior, Current, or Pending Support of Similar Proposals or Awards – WARNING – While it is permissible, with proposal notification, to submit identical proposals or proposals containing a significant amount of essentially equivalent work (see Appendix B) for consideration under numerous

Federal program solicitations, it is unlawful to enter into funding agreements (contracts or grants) requiring essentially equivalent effort. If there is any question concerning this, it must be disclosed to the soliciting agency or agencies before award.

If an Offeror elects to submit identical proposals or proposals containing a significant amount of essentially equivalent work in response to this Solicitation, or other Federal program solicitations, or is substantially the same as another proposal that has been funded, is now being funded, will be submitted to other agencies for funding consideration, or is pending with DHS or another Federal Agency, the Offeror must indicate so on the Proposal Cover Sheet and provide the following information in the Technical

Proposal:

a. Name and address of the Federal Agency(s) to which a proposal was submitted, will be submitted, or from which an award is expected or has been received.

b. Date of proposal submission or date of award

c. Title of proposal

d. Name and title of principal investigator or project manager for each proposal submitted or award received

e. Title, number, and date of solicitation(s) under which the proposal was submitted, will be submitted, or under which award is expected or has been received

f. If award was received, state contract number

g. Specify the applicable topics for each SBIR Proposal submitted or award received

Note: If this section does not apply, the following statement should be included in the Technical Proposal: "No prior, current, or pending support for proposed work."

3.4 Cost Proposal

All Offerors must submit a cost proposal via https://sbir2.st.dhs.gov. Proposed costs must not exceed the maximum thresholds outlined below.

SBIR Topic Structure

Phase I Phase II

$150,000

6 months

$1,000,000

24 months

Note: Phase totals are inclusive of Business and Technical Assistance (Section 5.11)

For additional information on the items in the Cost Proposal, reference the DHS SBIR Cost Proposal

Guide at https://sbir2.st.dhs.gov under “Resources.”

Additionally, more information about cost proposals and accounting standards can be found in the DCAA publication, Information for Contractors, available at www.dcaa.mil/dcaam_7641.90.pdf.

Proposals submitted under this Solicitation will be considered valid for 90 days. If a proposal is selected for award, Offerors should be prepared to submit further cost/pricing documentation to the Contracting Officer in order to justify items on the cost proposal.

The following are required elements of the cost proposal:

Direct Labor – list the name, labor category, labor hours and labor rate of each employee working on the project

Overhead Cost – specify the current overhead rate. Use overhead rate approved by a cognizant federal agency, if available.

Other Direct Cost – include direct material, special testing, equipment, travel, subcontracts, etc.

For Phase I planning purposes, Offerors should budget for two mandatory trips to Washington, DC – a post‐ award kick‐off meeting and a one‐day meeting to present the results in the final report. The structure of the kick‐off meeting is different for S&T and CWMD topics. Refer to the table below for details:

PHASE I TRAVEL

DETAILS Day S&T

Topics

CWMD

Topics 1 (Mandatory) Session includes:

Program background and contracting overview

One‐on‐One sessions with

Topic Managers

(Mandatory) Session includes:

Program background and contracting overview

One‐on‐One sessions with

Topic Managers

2 (Mandatory) Commercialization workshop N/A

3 (Optional) Showcasing and Presentation

Workshop ‐ venue where small business concerns can enhance their presentation skills in front of Government, Industry and representatives from the investment community

N/A http://www.dcaa.mil/dcaam_7641.90.pdf

3.5 Briefing Chart

The mandatory one‐page Briefing Chart should provide a very concise summary of the overall effort. The

Briefing Chart is uploaded during proposal submission and may be used in the evaluation process. The briefing chart MUST NOT contain proprietary or classified data. Offerors must use the Briefing Chart template provided in Attachment 3.

3.6 Commercialization Report

All Phase II Offerors with previous Phase II awards must submit a Commercialization Report. It is important to note that this is a separate document from the Commercialization Plan required as part of the Phase II

Technical Proposal.

Offerors that have not received any Phase II awards should check the appropriate box on the Cover Sheet certifying that the company has not received SBIR Phase II funding from any agency. Offerors with no prior

Phase II awards will not be negatively impacted in the evaluation process. Instead, such companies will be evaluated based on the Commercialization Plan, see Section 3.3.

If applicable, the succinct Commercialization Report should be in PDF format and submitted as a separate upload during the Phase II proposal submission. The following are examples of company commercialization data expected in the Commercialization Report:

Any business concern or subsidiary established for the commercial application of a product or service for which an SBIR award is made.

Revenue from the sale of new products or services resulting from the research conducted under each Phase II award; delineate revenue by government, open market, prime contractors, other awards, and when this revenue event occurred.

Additional investment from any source, other than Phase I or Phase II awards, to further the research and development and/or commercialization conducted under each Phase II award.

Whether the Phase II technology has been used in a fielded DHS system or acquisition program, and, if so, which system or program.

The number of patents resulting from the contractor’s participation in the SBIR Program and whether any licenses based on these patents have been issued.

Whether the company has completed an initial public offering (IPO) of stock, merged or been acquired resulting, in part, from any DHS SBIR Phase II project.

The Commercialization Report for any prior Phase II award received by the company must be current as of the end of the company’s last full fiscal year (FY). The company may apportion sales or additional investment information relating to more than one Phase II award among those awards, if it notes the apportionment for each award.

3.7 DHS Phase II Transition Rate Benchmark

The Phase I to Phase II Transition Rate requirement applies only to SBIR and STTR Phase I applicants that have received more than 20 (21 or more) Phase I awards over the past 5 fiscal years, excluding the most recent year. These companies must meet the required benchmark rate of transition from Phase I to Phase

II. The current Transition Rate requirement, agreed upon and established by all 11 SBIR agencies and published for public comment at 77 FR 63410 (link is external) in October 2012 and amended at 78 FR

30951 (link is external) in May 2013, is that an awardee must have received an average of one Phase II for every four Phase I awards received during the most recent 5-year time period (which excludes the most recently-completed fiscal year) to be eligible to submit a proposal for a new Phase I (or Direct-to-Phase II) award. That is, the ratio of Phase II to Phase I awards must be at least 0.25.

For SBIR/STTR awardees that have received more than 20 Phase I awards during the time period, SBA calculates the company Transition Rate and displays it on the company registry page at www.sbir.gov. Companies with less than that number of past Phase I awards will only see “N/A” because the benchmark requirement does not apply to them. To calculate the company Transition Rate, SBA divides the total number of SBIR and STTR Phase II awards a company received from all agencies during the past 5 fiscal years by the total number of SBIR and STTR Phase I awards it received during the past 5 fiscal years excluding the most recently-completed year. The 5-year period over which Phase I awards are counted excludes the most recently completed fiscal year because not all Phase II awards can occur within the same year as the Phase I award.

3.8 Questions

General questions

Question pertaining to the S&T’s SBIR Program should be submitted to

STSBIR.PROGRAM@hq.dhs.gov.

Questions pertaining to the CWMD’s SBIR Program should be submitted to

CWMD.sbir@hq.dhs.gov.

Technical Questions

Questions related to specific topics must be received by 12:00 (NOON) ET January 9, 2019. Technical

Questions received after this date will not be considered.

These questions are limited to technical information related to improving the understanding of a particular topic’s requirements. Any questions or inquiries seeking advice or guidance on a solution approach are unacceptable and will not receive a response.

Responses to the questions received by 12:00 (NOON) ET January 9, 2019, will be posted on www.FBO.gov and the DHS SBIR Program website at https://sbir2.st.dhs.gov as an amendment to the Solicitation.

All Offerors are advised to monitor both www.FBO.gov and the DHS SBIR Program website during the

Solicitations period for supplemental posting of questions and answers, and other information relevant to the research topics in this Solicitation.

Electronic Submission Questions

Questions about the electronic submission of proposals should be submitted to the Help Desk at (703) 480‐ 7676, or via email to dhssbir@reisystems.com. The Help Desk may be contacted from 9:00 a.m. to 5:00 p.m.

ET, Monday through Friday.

4.0 METHOD OF SELECTION AND EVALUATION CRITERIA

4.1 Evaluation Criteria, Factors and Ratings

The Phase I evaluation criteria, listed in decreasing order of importance, are as follows:

https://www.federalregister.gov/d/2012-25328 https://www.federalregister.gov/d/2013-12312 https://www.federalregister.gov/d/2013-12312 mailto:STSBIR.PROGRAM@hq.dhs.gov mailto:dndosbir@hq.dhs.gov http://www.fbo.gov/ http://www.fbo.gov/ mailto:dhssbir@reisystems.com

a. Technical Merit – the soundness, technical merit, and innovation of the proposed approach and its incremental progress toward topic or subtopic solution.

b. Staff Qualifications and Capability – the qualifications of the proposed principal investigator, key personnel, supporting staff, and consultants. Qualifications include the ability to perform the research and development.

c. Potential for Commercialization – the potential for commercial application, either in the

Government or private sector, and the benefits expected to accrue from this commercialization.

d. Cost/Price – Cost/Price – The reasonableness of the cost proposal. The evaluation of cost/price will include whether the level of effort and other direct costs are appropriate for the proposed work.

The Phase II evaluation criteria, listed in decreasing order of importance, are as follows:

a. Technical Merit – the soundness, technical merit, and innovation of the proposed approach and its incremental progress toward topic or subtopic solution.

b. Potential for Commercialization – the potential for commercial application, either in the Government or private sector, and the benefits expected to accrue from this commercialization.

The lack of a Company Commercialization Report, due to the offeror having no prior Phase II awards, will not affect its ability to receive an award.

c. Staff Qualifications and Capability – the qualifications of the proposed principal investigator, key personnel, supporting staff, and consultants. Qualifications include the ability to perform the research and development.

d. Cost/Price – Cost/Price – The reasonableness of the cost proposal. The evaluation of cost/price will include whether the level of effort and other direct costs are appropriate for the proposed work.

Evaluators will assess the strengths, weaknesses, and deficiencies of the above criteria using the following definitions:

a. Strength – An aspect of the proposal that benefits the Government in terms of the quality of the

Offeror’s performance, cost effectiveness, or reduced risk towards successful contract performance.

b. Weakness – A flaw in the proposal that decreases the likelihood successful contract performance. A

“significant weakness” is a flaw that dramatically increases the risk of unsuccessful contract performance. When weaknesses are identified, the Government will provide comment(s) on the significance of the weakness.

c. Deficiency – A material failure of a proposal that would result in an unacceptable risk level of contractor performance.

Evaluators will use one of the following adjectival ratings for each of the Technical Merit, Staff

Qualifications and Capability, and Potential for Commercialization criterion:

a. Excellent – The proposal demonstrates a superior understanding of the requirements and an approach that significantly exceeds all topic objectives. Proposal has exceptional strengths that will significantly benefit the Government and risk of unsuccessful performance is very low.

b. Very Good – Offeror’s proposed approach is likely to satisfy most of the topic objectives and shows a high probability of successful contract performance. Offeror’s proposal has strengths that will benefit the Government and one or more weaknesses, but no significant weaknesses.

c. Good – Offeror’s proposed approach has a reasonable likelihood of satisfying the topic objectives and shows a good probability of successful contract performance. Offeror’s proposal has some strengths that will benefit the Government, and some weaknesses.

d. Fair – Offeror’s proposed approach is unlikely to meet the topic objectives and shows a low probability of successful contract performance. Offeror’s proposal has weaknesses, some that may be significant, and few strengths, if any, that will benefit the Government.

e. Unacceptable – The Offeror’s proposed approach fails to meet the topic objectives and requirements.

The Cost/Price criterion is not adjectively rated as outlined above; rather, the evaluation team will determine if the cost proposal is either acceptable or unacceptable as defined below:

a. Acceptable ‐ The proposed cost elements, including labor mix, labor hours, material, special testing, special equipment, travel, subcontracts, if applicable, are appropriate for the proposed effort.

b. Unacceptable ‐ The proposed cost elements, including labor mix, labor hours, material, special testing, special equipment, travel, subcontracts, if applicable, are not appropriate for the proposed effort.

4.2 Proposal Review Feedback

DHS will make award decisions, and notify applicants of its decisions, within 90 calendar days from the closing date of this Solicitation. Specific instructions on requesting feedback will be provided to each Offeror upon notification that their proposal was not selected for award.

Requests for proposal feedback must be received within three (3) business days of the notification and will only be provided to Offerors upon request.

4.3 Contractor Support Services In Support of the Selection Process

Offerors are advised that non‐federal, contract support personnel will be used to carryout administrative functions for the SBIR Program Office and topic program managers. The contract support personnel will have access to proposals. Administrative duties may include, but are not limited to, making and distributing copies of proposal, scheduling and attending meetings, taking and compiling notes, etc.

In addition to administrative functions, CWMD will use contractor support as advisors in the source selection process.

Applies to H‐SB019.1‐010 though H‐SB019.1‐011 ONLY

Schafer, a Belcan Company

BGS_TAR_NDA@belcan.com

(703) 516-6000 mailto:BGS_TAR_NDA@belcan.com

Applies to H‐SB019.1‐011 ONLY

Engility

Rose.Rovitti@Engility.com

(703) 984-5164

Ben.Dawson@Engility.com

(703) 984-5065

In accomplishing their duties related to the source selection process, the aforementioned firms may require access to proprietary information contained in the Offerors' proposals.